The role of judicial conduct agencies throughout the country is to help enforce the standards of
judicial conduct. These agencies, established by the fifty states and the District of Columbia to
oversee judges' conduct both on and off the bench, play a vital role in maintaining public confidence
in the judiciary and preserving the integrity of the judicial process. As a forum for citizens with
complaints against judges, judicial conduct agencies help maintain the balance between judicial
independence and public accountability. They also serve to improve and strengthen the judiciary by
creating a greater awareness of proper judicial conduct on the part of judges themselves.

Judicial conduct agencies act only on complaints involving judicial misconduct and disability. They
do not serve as appellate courts, nor do they deal with complaints involving a judge's decisions or
rulings unless there is an accompanying allegation of fraud, corrupt motive or other misconduct.

II. THE MASSACHUSETTS COMMISSION ON JUDICIAL CONDUCT

The Massachusetts Commission on Judicial Conduct (Commission) was established in 1978 with
the enactment of the Court Reorganization Act. Before April 1, 1988, Commission activity was
governed by the provisions of Massachusetts General Laws c.211C, as inserted by St. 1978, c.478,
§114. In 1987, c.211C was substantially amended, effective April 1, 1988. See St. 1987, c.656.
Since 1988, the Commission has been operating under the amended version of c.211C (see
Appendix A) and new procedural rules (see Appendix B). The Commission's Rules 1 and 6 were
amended, effective October 1, 1999.

This annual report covers the Commission's activities from January 1, 2002 through December 31,
2002.

1. THE COMMISSION'S JURISDICTION

The Commission is authorized to accept complaints only against state court judges. The
Commission's jurisdiction includes the conduct of judges prior to assuming judicial office, and
retired judges who are assigned to perform the duties of a judge for a temporary period, as well as
the conduct of lawyers who used to be judges, while they held judicial office.

The Code of Judicial Conduct, promulgated by the Supreme Judicial Court (Rule 3:09; see Appendix
C(1)), sets forth eight canons which govern a judge's behavior. The Commission's grounds for
discipline include violations of these canons, as well as the following:

conviction of a felony;

(2) willful misconduct in office;

(3) willful misconduct which, although not related to judicial duties, brings the
judicial office into disrepute;

(4) conduct prejudicial to the administration of justice or conduct unbecoming a
judicial officer, whether conduct in office or outside of judicial duties, that
brings the judicial office into disrepute; or

(5) any conduct that constitutes a violation of the codes of judicial conduct or
professional responsibility.

The Commission may not investigate complaints of misconduct which occurred more than one year
prior to the date the complaint is received unless the Commission finds "good cause" to consider
them, or unless there is an alleged pattern of recurring judicial misconduct, the last episode of which
arose during the one-year period. Some factors which may determine "good cause" include the
seriousness of the allegations, whether evidence still exists, and whether witnesses are still available.

The Commission does not have the power to review the record of a case to determine whether a
judge made the correct decisions; that is for appellate courts. The Commission does not have the
power to change the decisions of any court or to intervene in any case. The filing of a complaint
with the Commission does not automatically require the disqualification of the judge from a pending
case.

2. THE COMPLAINT PROCESS

a. Initiation of Proceedings

A complaint may be filed by any person. In order to make sure a complaint contains all the
information necessary for screening, the Commission provides a complaint form. (See Appendix E.)
However, a letter to the Commission which contains all the necessary information may suffice. If
there is a reason preventing the complainant from filing in writing, a complaint may be filed orally.
Any complaint may be filed anonymously. In order for a complaint to be docketed, it must allege
specific facts which, if true, would constitute judicial misconduct or disability. The Commission
may initiate its own complaint when it receives reasonable information about judicial misconduct.

b. Screening

When the Commission receives a complaint, the staff screens it to determine whether the complaint
falls within the Commission's jurisdiction. If the complaint does not allege judicial misconduct, it
is not accepted. If it does, it is docketed and assigned a complaint number.

c. "Frivolous or Unfounded" Complaints

If, upon screening, the Executive Director considers a complaint to be "frivolous or unfounded"
under Commission Rule 6D, the complaint goes to the Commission for immediate consideration of
whether it should be summarily dismissed.

d. Stale Complaints

If, upon screening, the Executive Director finds that a complaint alleges that judicial misconduct
occurred more than one year prior to the filing of the complaint, the complaint goes to the
Commission for immediate consideration of whether there is good cause to investigate it. "Good
cause" considerations include how old the allegations are, why the complaint was not filed sooner,
and whether evidence and witnesses' memories of the events are likely still to exist. After a finding
of no good cause, a complaint is dismissed, and the judge and complainant are so notified. After a
finding of good cause, a complaint is investigated.

e. Anonymous Complaints

Any anonymous complaint goes immediately to the Commission for a decision as to whether the
seriousness or the notoriety of the misconduct alleged outweighs the potential prejudicial effect of
investigating the complaint. The complaint is thereafter dismissed or investigated, depending upon
the vote of the majority of the Commission.

f. Notice to the Judge

In most complaints, the judge is immediately notified of the entire complaint and invited to respond
if he or she wishes. If the complaint is to be considered right away by the Commission for summary
dismissal, notice of the complaint will be given to the judge along with the Commission's decision
as to that. If the Executive Director determines upon screening a complaint that notifying the judge
of the entire complaint would create a substantial risk of evidence being lost or destroyed, or a
substantial danger of retaliation by the judge against the complainant or any other person mentioned
in the complaint, the complaint goes to the Commission for initial consideration of whether there
exists such a risk or danger. If the Commission votes that there is not, the judge receives full notice
of the complaint before the investigation is begun. If the Commission votes that there is such a risk
or danger, the Commission determines what information in the complaint is to be withheld from the
judge, only until such risk or danger ends, and the judge is notified of the rest. The complaint is then
investigated.

g. Investigation

The staff member assigned the complaint conducts a prompt, confidential investigation, which may
include listening to tape recordings or reviewing transcripts of court proceedings, interviewing
witnesses, reviewing documents, and observing in court. At the conclusion of the investigation
(within ninety days, whenever possible), the Commission reviews the report of the investigation, the
judge's response, if any, and any other relevant materials. The Commission votes whether to dismiss
the matter or to proceed to a Sworn Complaint or Statement of Allegations. At any stage of the
proceedings, the Commission may decide to dispose of a complaint by dismissal, Informal
Adjustment, or Private Reprimand.

h. Dismissal with an Expression of Concern

If the Commission finds, after investigation of a complaint, that the facts do not rise to the level of
judicial misconduct but are cause for concern for the future, the Commission may dismiss a
complaint while expressing to the judge its specific concern.

i. Informal Adjustment/Agreed Disposition

If the Commission decides to dispose of a complaint by Informal Adjustment, it develops a list of
conditions designed to prevent a repetition of the misconduct. This form of disposition requires
agreement by the judge to the terms of the Informal Adjustment. The terms may include counseling,
education, assignment of a mentor judge, monitoring by the Commission for a specified period of
time, voluntary retirement, or other appropriate conditions. An Informal Adjustment may take the
form of an information or admonition to the judge that certain conduct is or may be cause for
discipline.

j. Private Reprimand

The Commission may issue a Private Reprimand to a judge, as part or all of the disposition of a
complaint, if the judge consents. A Private Reprimand is considered to be a more severe discipline
than the information or admonition mentioned in the paragraph above.

k. Sworn Complaint or Statement of Allegations

After considering the investigation of a complaint, if the Commission votes to proceed to the next
level of charging, either the complainant signs a Sworn Complaint or the Commission staff prepares
a Statement of Allegations. The Sworn Complaint or Statement of Allegations is sent to the judge.
The judge then has twenty-one days in which to respond in writing and to request an appearance
before the Commission. The judge may be accompanied by counsel.

After the twenty-one days allowed for a judge's response to the Sworn Complaint or Statement of
Allegations, and after the judge's appearance, if any, the Commission votes to dispose of the matter
in one of the following four ways: 1) dismissal; 2) Informal Adjustment; 3) Private Reprimand; or
4) issuing Formal Charges.

l. Formal Charges

When Formal Charges are issued, they are sent to the judge, who has ten days to respond. After
reviewing the judge's response, if the Commission decides to continue with the formal proceedings,
it files the Formal Charges and the judge's response with the Supreme Judicial Court. Upon that
filing, both documents become public.

m. Hearing

When Formal Charges are filed with the Supreme Judicial Court, the Commission requests that the
Court appoint a Hearing Officer. The Commission schedules a Hearing, which is open to the public.
The rules of evidence applicable to civil proceedings in Massachusetts apply at the Hearing. The
Commission has the burden of proving the charges by clear and convincing evidence. Within thirty
days after the conclusion of the hearing, the Hearing Officer submits a report to the Commission
containing proposed findings and recommendations.

n. Commission Recommendations

Before the Commission reaches its final decision, the judge and the complainant have the right to
be heard regarding the Commission's recommendation for discipline. That hearing is open to the
public; the Commission deliberations which follow are closed. The Commission must then make
a report to the Supreme Judicial Court within ninety days. The Commission's conclusions and
recommendations may differ from those of the Hearing Officer.

o. Disposition

The Supreme Judicial Court, usually after hearing, acts on the Commission's report. The Court may
adopt the Commission's recommendations concerning discipline or impose greater or lesser
discipline.

As a general matter, the Commission's authority to dispose of a complaint is limited to dismissal,
Private Reprimand, or Informal Adjustment. The Commission does not have the power to impose
disciplinary sanctions without the consent of the judge; only the Supreme Judicial Court has that
power. The Commission may recommend that the Supreme Judicial Court impose a greater variety
of sanctions upon a judge than is available to the Commission, including public censure. Neither
the Commission nor the Court has the power to remove a judge from the bench. (The Legislature
must act in order to remove a judge for misconduct. The Governor and Governor's Council may
retire a judge for mental or physical disability, before the mandatory retirement age of seventy.) The
complainant and the judge are always notified of the final disposition of a complaint.

p. Physical or Mental Disabilities

The Commission follows the same procedures as above in dealing with complaints about physical
or mental disabilities that affect a judge's performance.

3. CONFIDENTIALITY

The statute and the rules which govern the Commission on Judicial Conduct require that the
complaint and all Commission proceedings remain confidential, unless and until the Commission
files Formal Charges with the Supreme Judicial Court. (There are certain limited exceptions to this
requirement.) This strict confidentiality includes all communications made to and by the
Commission or its staff; it protects complainants, witnesses, and judges.

III. SUMMARY OF COMMISSION ACTIVITY IN 2002

One hundred forty-one of the hundreds of complaints received in 2002 were docketed because they
fell within the Commission's jurisdiction.(2) Of those complaints docketed, 31.2% were filed against
judges of the Superior Court; 31.2% were filed against judges of the Probate & Family Court; 30.5%
were filed against judges of the District Court; 3.5% were filed against judges of the Juvenile Court;
2.1% were filed against judges of the Boston Municipal Court, and 1.4% were filed against judges
of the Housing Court. Chart 3 presents the distribution of complaints by court.

In 2002, litigants filed 75.5% of the complaints. Of the litigants who filed complaints, 42.6% were
pro se. Relatives of litigants filed an additional four complaints. Fourteen complaints, or 9.8%,
were filed by lawyers. Nine complaints, or 6.3%, were filed by concerned citizens. Two complaints,
or 1.4%, were initiated by the Commission. Two complaints were filed by a witness, victim or
relative of a victim in a case. Three complaints were filed anonymously in 2002. Chart 5 presents
the distribution of complaints by source.

Most of the complaints filed in 2002 contained multiple allegations. The subject matter of the
allegations is presented in Chart 6. Disagreement with the judge's rulings was the most frequent
allegation, appearing in 57.4% of the complaints (although it is not, standing alone, an allegation of
misconduct). The next most frequent allegation was bias or prejudice, which appeared in 48.2% of
the complaints. The type of bias or prejudice most frequently alleged was racial bias, which arose
in 7.1% of the complaints filed, and in 14.7% of the complaints alleging bias or prejudice. Of those
alleging gender bias, 100% alleged bias against men. Following bias, the next most frequent
allegations were: inappropriate demeanor (41.1%); denial of full opportunity to be heard (29.8%);
conspiracy or collusion (13.4%); denial of constitutional rights (9.9%); and failure to follow the law
or incompetence (8.5%).

Chart 1 presents the status of the Commission's 2002 docket. The Commission disposed of 105
complaints in 2002, including some which were carried over from the previous year. One hundred
thirty complaints were pending at the end of 2002, including five which had been Informally
Adjusted in 2001, and two in which there was a Deferred Discipline Agreement. The130 complaints
pending at the end of 2002 included the 63 complaints against one Superior Court judge that, at
year's end, were before the Hearing Officer in a Hearing in progress. The status of those complaints
is shown in Chart 1.

As shown in Chart 2, the Commission dismissed outright 98 complaints, or 93.3% percent of the
complaints disposed by the Commission during 2002. Of those complaints dismissed, 43.9% were
dismissed after preliminary review because they were stale, or "frivolous or unfounded"; 56.1% were
dismissed after investigation because the Commission did not find that any judicial misconduct had
occurred. In addition, five complaints (4.8% of those disposed) were dismissed with an expression
of concern following an investigation.

Chart 2 also indicates that two complaints, or 1.9% per cent of the complaints disposed by the
Commission in 2002, were closed as Informally Adjusted during 2002. (Five other complaints had
been Informally Adjusted in 2001 and remained pending at the end of 2002.) The Public Hearing
against the Superior Court judge began in 2002 and continued into 2003.

CHART 1

Status of Commission Docket

2002

Complaints Pending January 1, 2002

94

Investigations in Progress

89

Informal Adjustments in Progress

5

Complaints Filed in 2002

141

Complaints Disposed in 2002

105

Complaints Pending December 31, 2002

130

•Hearing in Progress

63

•Investigations in Progress

60

•Informal Adjustments in Progress

5

•Deferred Disc. Agr'mt. in Progress

2

CHART 2

Commission Action on Complaints

2002

Complaints Before the Commission in 2002

235

• Complaints Pending from Previous Year

94

• Complaints Filed in 2002

141

Complaints Under Investigation During 2002

192

Complaints Disposed in 2002

105

• Dismissed after Preliminary Review

43

Dismissed after Investigation

55

Dismissed with Concern (after investigation)

5

Informally Resolved/Closed with Reprimand

0

Informally Resolved/Closed Other

2

CHART 3

Complaints by Court

2001

N =141

Supreme Judicial Court (7)*

0

Appeals Court (25)

0

Superior Court (80)

44

Land Court (4)

0

Probate and Family Court (51)

44

Housing Court (10)

2

District Court (175)

43

Boston Municipal Court (11)

3

Juvenile Court (41)

5

* the number of judges authorized by statute for each court for July 1, 2001-June 30, 2002

CHART 4

Type of Case Involved

2002

N=143*

Divorce, Custody, Support

36

Civil

42

Abuse Prevention

10

Criminal

49

Estate or Other Probate Matter

4

Guardianship

1

Off-Bench Conduct

2

Juvenile

4

Small Claims

6

*Some complaints involve more than one case.

CHART 5

Type of Complainant

2002

N=143*

Litigant

108

Pro Se

46

Lawyer

14

Concerned Citizen

9

Litigant's Relative

4

Anonymous

3

Witness, Victim, Victim's Relative

2

Commission on Judicial Conduct

2

Other

1

*Some complaints have more than one complainant.

-

CHART 6

Subject Matter of Complaints*

2002

Disagreement with Decisions and Rulings

81

Bias, Prejudice

68

Racial

10

Gender

8

Against Men

8

Against Women

0

Against Criminal Defendants

4

Against Pro Se Litigants

3

Socioeconomic

3

Against Prosecutors

1

Inappropriate Demeanor

58

Denial of Full Opportunity to be Heard

42

Conspiracy, Collusion

19

Denial of Constitutional Rights

14

Failure to Follow the Law, Incompetence

12

Administrative Problems

10

Delay

9

Other than Delay

1

Ex Parte Communication

9

Coercion to Settle or Plead

9

Fraud, Deception, Dishonesty, Lack of Integrity

9

Corruption, Bribe, Extortion

5

Retaliation

5

Abuse of Authority

5

Conflict of Interest

3

Failure to Investigate/Discipline Attorney Misconduct

3

Obstruction of Justice

2

Sexual Harassment

2

Failure to Work a Full Day, as required

1

Giving Legal Advice, Acting as an Advocate

1

Bringing the Judiciary into Disrepute

1

* Many complaints contain more than one allegation.

CHART 7

Summary of Commission Activity, 1998-2002

1998

1999

2000

2001

2002

Complaints Pending from Previous Year

108

129

60

91

94

New Complaints Filed

160

181

340

133

141

Complaints Investigated

196

226

209

166

181

Complaints Dismissed

126

244

292

122

98

Complaints Informally Resolved and Closed

3

1

19

7

2

Complaints Informally Resolved or Deferred
Discipline Agreed & Still Pending at End of Year

5

5

0

5

7

Total of Complaints Informally Resolved or
Deferred Discipline Agreed

8

6

19

12

9

Public Hearings Held

0

0

0

0

1

Reports Filed with the Supreme Judicial Court

0

0

0

0

0

IV. Case Summaries

The following case summaries represent examples of the complaints of which the Commission
disposed during 2002.(3)

Dismissed without Investigation (after preliminary review)

1) Stale

A litigant alleged that a judge had been biased against him in proceedings which took place
five and eight years previous to the filing of the complaint. The judge in question had been retired
for several years at the time of the complaint. Information provided in the complaint was not
sufficient to allow Commission staff to contact the complainant to obtain further information. The
Commission voted there was not good cause to investigate this stale complaint and dismissed it.

2) Frivolous or Unfounded

A pro se litigant complained that a judge had shown racial bias against him and violated his
constitutional rights by wrongfully incarcerating him. Commission staff wrote to the complainant
to ask what evidence he had that the judge's decisions were motivated by racial bias. The
complainant's reply did not provide any evidence to support the allegation. As the allegations of
misconduct appeared to be based solely upon adverse decisions, the Commission voted to dismiss the
complaint as frivolous or unfounded.

Dismissed after Investigation

3) A pro se litigant alleged that a judge allowed opposing counsel to be heard at length, while
denying the complainant the chance to make rebuttal. The complainant alleged that he was denied
his right to a trial and the matter had been prejudged. A review of the audiotape of the court
proceeding, as well as interviews of the complainant and a witness, did not support the allegations.
Finding no judicial misconduct, the Commission voted to dismiss the complaint.

4) A litigant complained that the judge denied him full right to be heard due to gender bias.
Further knowledge of the case gleaned from the audiotape of the court proceeding, as well as
interviews of the judge and the complainant, revealed that the complainant's version of events was
not accurate. As the investigation revealed no evidence of gender bias or other judicial misconduct,
the Commission voted to dismiss the complaint.

Dismissed with an Expression of Concern

5) In the
course of investigating a complaint, the audiotape of a court
proceeding was heard which
contained a guilty plea colloquy in a criminal case. (A judge is
required to conduct a colloquy with
any defendant pleading guilty in order to determine for the record that
the plea is being made
knowingly and voluntarily.) In this case, the judge asked the defendant
factual questions which did
not pertain to the voluntariness of the plea, and which might have
elicited answers from the defendant
which could have been used against him, if the plea were rejected and
the case later went to trial. Also, the judge neglected to ask the
defendant two questions which are required in every plea
colloquy, regarding waiving the right to confront witnesses and the
privilege against self-incrimination. The Commission voted to express
its concern about those two issues to the judge, and
draw to his attention Canons 2(A) and 3(A)(1) of the Code of Judicial
Conduct.

6) A litigant alleged that a judge was unfair and degrading toward him, did not allow him fully
to represent himself, nor full opportunity to be heard, and kept telling him he should be in jail. The
complainant felt humiliated and also complained about the judge's ruling in the case. A review of
the audiotape of the proceeding, the judge's response to the complaint, and interviews of the
complainant and another witness revealed no support for the allegations, except for one area of
concern. The judge had stated that, if the complainant missed one child support payment, there
should be a contempt proceeding against him, because the complainant would belong in jail. The
Commission voted to dismiss this complaint, while telling the judge that those comments and the
abruptness of his treatment of the complainant may have created the appearance that judge was not
impartial in the matter. The Commission reminded the judge that Canon 3(A)(3) requires a judge to
be "patient, dignified and courteous to litigants."

Informally Adjusted/Agreed Disposition

7) In connection with the resolution of a pending complaint, the Commission issued the
following press release, by agreement with the judge, on February 15, 2002:

Judge DavidE. Harrison Retires from Bench

The Commission on Judicial Conduct and Judge David E. Harrison have reached
an agreement concerning the allegations of misconduct that were pending before the
Commission.

Judge Harrison, First Justice of the Gloucester District Court, has agreed to retire
from the bench in resolution of the Commission's Complaint No. 2001-12. The
Complaint was initiated by the Commission and investigated by Special Counsel. Judge
Harrison has admitted that he received, unsolicited, a confidential document of the
Commission regarding a separate complaint that was then pending before the Commission
against Judge Harrison, thus interfering with a confidential Commission proceeding, and
that he read the document rather than returning it to the Commission or notifying the
Commission that he had received it. The Commission's proceedings and documents
relating to them are subject to the confidentiality provisions of G.L. c.211C, sec.6, and
Commission Rule 5. In this matter, there are no allegations of misconduct by Judge
Harrison while performing his judicial duties.

Judge Harrison's retirement and admission have led to the closing of Complaint
No. 2001-12.

8) In connection with the resolution of a pending complaint, the Commission issued the
following press release, by agreement with the judge, on March 15, 2002:

Judge Paul J. Cavanaugh Retires from the Bench

Judge Paul J. Cavanaugh, First Justice of the Malden Division of the District Court
Department, has agreed with the Commission on Judicial Conduct that he will retire from
the bench as of March 20, 2002, in resolution of Complaint No. 2001-11. This complaint
was initiated by the Commission and investigated by Special Counsel.

The Commission's complaint concerns Judge Cavanaugh's conduct in connection
with a separate complaint against another judge. The Commission alleges that Judge
Cavanaugh violated Canon 1, Canon 2, and Canon 2(A) of the Code of Judicial Conduct.
In particular, the Commission alleges that while at the Malden District Court, Judge
Cavanaugh made inquiry of a member(4)4] of the Commission concerning its confidential
investigation of the complaint against the other judge, and asked the Commission member
to speak to the other judge about that investigation; that thereafter, Judge Cavanaugh
received, unsolicited, from the Commission member a copy of a confidential investigative
report concerning the other judge; and that the report was sent from the Malden District
Court to the other judge. Judge Cavanaugh admits the truth of these allegations, and that
his conduct interfered with the Commission's proceeding.

The Commission further alleges that Judge Cavanaugh made false statements
under oath to the Commission concerning his above-described conduct; Judge Cavanaugh
does not admit the truth of these allegations. In connection with this matter, there are no
allegations of misconduct by Judge Cavanaugh while performing his judicial duties on the
bench.

Judge Cavanaugh's retirement and admissions have led to the closing of the
Commission's Complaint No. 2001-11. Judge Cavanaugh has entered into this agreement
with the Commission pursuant to G.L. c.211C, sec.8(1), and has waived his confidentiality
with regard to this statement of resolution of the matter.

IV. GENERAL INFORMATION ABOUT THE COMMISSION

1. MEMBERSHIP

The Commission is composed of nine members who serve without pay. Three lay persons are
appointed by the Governor, three lawyers are appointed by the Chief Justice for Administration
and Management of the Trial Court, and three judges are appointed by the Justices of the Supreme
Judicial Court. The Commission annually elects one of its members to serve as Chairman and one
to serve as Vice Chairman. Commissioners are eligible for only one six-year term, except when
appointed to fill a vacancy for the remainder of an unexpired term.

The Commission members who were appointed to serve during the period covered by this report
are:

Honorable Margot Botsford, Chairman

Sally Livingston, Vice Chairman (term ended October 31, 2002)

Robert Guttentag, elected Vice Chairman October 8, 2002

Honorable Catherine P. Sabaitis (term ended December 3, 2002)

Honorable William W. Teahan, Jr.

Honorable Susan D. Ricci (appointed December 12, 2002)

William E. Bernstein, Esquire

Gael Mahony, Esquire

Henry T.A. Moniz, Esquire

John G. Gallup (term ended October 3, 2002)

Christopher P. Geehern (appointed October 28, 2002)

Alternate members are appointed in each category by the same appointing authorities, to serve at the
call of the Chairman in place of Commission members who are disqualified from or unable to
participate in a Commission proceeding. Those appointed to serve during 2002 were:

Honorable Charles M. Grabau

Honorable Joseph Lian, Jr.

Jane E. Tewksbury, Esquire

2. BUDGET

The Commission is an independent agency in the Judicial Branch, funded through a line-item in the
budget of the Supreme Judicial Court. The Commission received a total appropriation of $449,250

The Commission generally meets monthly, on the second Tuesday of the month. The Commission
met eleven times in 2002.

APPENDIX A

Massachusetts General Laws c.211C,

as amended by St. 1987, c.656

SECTION 1. Establishment; membership; expenses; term; chairman

There shall be acommission on judicial conduct consisting of nine members. Three judges
shall be appointed by the justices of the supreme judicial court, none of whom shall be justices of said
court and no two of whom shall be from the same department of the trial court. Three members of
the bar shall be appointed by the chief administrative justice of the trial court, none of whom shall
be judges. Three members shall be appointed by the governor, none of whom shall be members of
the bar. The members of the commission shall serve without compensation, but shall be reimbursed
for all expenses reasonably incurred by them in the performance of their duties. Members of the
commission shall serve for six year terms. Commission membership shall terminate if a member
ceases to be qualified for the appointment. A vacancy shall be filled by the appointing authority for
the remainder of the term. Upon the expiration of the term of office of a member, his successor shall
be appointed in the manner aforesaid. No person shall succeed himself as a member of the
commission except when his membership is due to an appointment to fill a vacancy for the remainder
of an unexpired term. One or more alternate members, as necessary, shall be elected in the manner
prescribed for initial appointments in each representative class, and shall serve at the call of the
chairman to take the place of those who are disqualified from participating in a commission
proceeding pursuant to commission rules.

SECTION 2. Investigations; hearings; recommendations

(1) All judges of the trialcourt, the appeals court and the supreme judicial court shall be
subject to discipline pursuant to this chapter. The commission on judicial conduct shall have the
authority to receive information, investigate, conduct hearings, and make recommendations to the
supreme judicial court concerning allegations of judicial misconduct and allegations of mental or
physical disability affecting a judge's performance.

(2) The commission shall have jurisdiction over investigations and recommendations
regarding discipline arising from the conduct of all judges, including any retired judge who is
assigned to perform the duties of a judge for a temporary period. This jurisdiction shall include all
conduct that occurred prior to a judge's assuming judicial office, and conduct of a lawyer who is no
longer a judge that occurred while he held judicial office; provided, however, that in evaluating such
conduct, the commission shall give substantial weight to relevant decisions of the supreme judicial
court and the board of bar overseers regarding bar discipline. The foregoing shall not be construed
to derogate the inherent authority of the supreme judicial court to supervise and discipline judges, the
authority of the governor with the consent of the council to remove a judge upon the address of both
houses of the legislature or to retire a judge involuntarily because of advanced age or mental or
physical disability, the authority of the legislature to remove a judge through impeachment, or the
supervisory authority of the chief justices of the appeals and supreme judicial courts or of the chief
and department administrative justices of the trial court.

(3) Except where the commission determines otherwise for good cause, the commission shall
not deal with complaints arising out of acts or omissions occurring more than one year prior to the
date commission proceedings are initiated pursuant to section five; provided, however, that, when the
last episode of an alleged pattern of recurring judicial conduct arises within the one year period, the
commission may consider all prior acts or omissions related to such alleged pattern of conduct.

(4) In the absence of fraud, corrupt motive, bad faith, or clear indication that the judge's
conduct violates the code of judicial conduct, the commission shall not take action against a judge
for making findings of fact, reaching a legal conclusion, or applying the law as heunderstands it.
Commission proceedings shall not be a substitute for an appeal.

(5) Grounds for discipline shall include:

(a) conviction of a felony;

(b) willful misconduct in office;

(c) willful misconduct which, although not related to judicial duties, brings the judicial
office into disrepute;

(d) conduct prejudicial to the administration of justice or conduct unbecoming a
judicial officer, whether conduct in office or outside of judicial duties, that brings the
judicial office into disrepute; or

(e) any conduct that constitutes a violation of the codes of judicial conduct or
professional responsibility.

(1) The commission shall report only to the supreme judicial court. The commission shall be
allowed for its purposes annually such amount as shall be appropriated for it by the general court. The
commission shall be provided with adequate offices. The commission may adopt rules of procedure,
without compliance with the provisions of chapter thirty A, but subject tothe approvalof the supreme
judicial court, and may develop appropriate forms for its proceedings. Such rules shall establish
reasonable time limits for all stages of commission proceedings and standards for extending time
limits applicable to commission proceedings.

(2) Members of the commission, hearing officers, commission counsel, and staff shall be
absolutely immune from suit for all conduct in the course of their official duties. A complaint
submitted to the commission or its staff and communications related to the complaint shall be
absolutely privileged, and no civil action predicated on the complaint or on such a communication
may be instituted against any complainant or witness or his counsel; provided, however, such
immunity from suit shall apply only to communications to the commission or its staff and shall not
apply to public disclosure of information contained in or relating to the complaint.

(3)The commission shall appoint an executive director who shall serve at the pleasure of the
commission. The executive director shall be a member of the Massachusetts bar, shall serve full time,
and shall not engage in the practice of law. The executive director shall receive an annual salary,
subject to appropriation, which is fixed by the commission consistent with classification and
compensation policies of the supreme judicial court, and such expenses as are approved by the
commission and incurred in the discharge of the executive director's duties.

(4) The executive director shall have duties and responsibilities as prescribed by the
commission, including the authority to:

(a) receive information, allegations, and complaints;

(b) make preliminary evaluations;

(c) screen complaints;

(d) conduct investigations;

(e) recommend dispositions;

(f) maintain the commission's records;

(g) maintain statistics concerning the operation of the commission and make them available to the commission and to the supreme judicial court;

(h) prepare the commission's budget for approval by the commission and administer
its funds;

(i) employ and supervise other members of the commission's staff;

(j) prepare the annual report of the commission's activities required pursuant to section
four; and

(k) employ, with the approval of the commission and subject to appropriation, special
counsel, private investigators, or other experts, and clerical assistants, as necessary to
investigate and process matters before the commission and before the supreme judicial
court. Neither the attorney general's staff nor law enforcement officers shall be
employed for this purpose.

(5) The supreme judicial court may delegate the power to enforce process in commission
proceedings to another appropriate court. A witness at any stage of commission proceedings may rely
on any privilege applicable to civil proceedings.

SECTION 4. Annual report

The commission shall submit annually to the general court and the supreme judicial court a
report of its activities together with recommendations. This report shall be a matter of public record
and shall be printed as a public document.

(1) Commission proceedings relating to the conduct of a judge may be initiated by an oral or
written complaint stating facts that, if true, would be grounds for discipline, or by the commission's
own motion when the commission receives reasonable information, including reports in the news
media, as to conduct that appears to constitute grounds for discipline. Upon receipt of such complaint
or adoption of such motion, the commission shall promptly notify the judge, except as provided in
subdivision (2), and shall conduct a prompt, discreet and confidential inquiry, investigation and
evaluation.

(2) The commission shall notify the judge of the proceedings and their subject matter before
commencing any inquiry, investigation or evaluation in all cases except as follows:

(a) where, because of the nature of the complaint, delay is necessary in order to
preserve evidence, notice may be delayed until such evidence is obtained, until the
matter is dismissed, or until the sworn complaint or statement of allegations is served
pursuant to subdivision (6), whichever occurs first;

(b) where the identity of the complainant could be readily determined by the judge
from the nature of the complaint and there is a danger of reprisal against the
complainant, notice may be delayed until the danger of reprisal ends, until the matter
is dismissed, or until the sworn complaint or statement of allegations is served
pursuant to subdivision (6), whichever occurs first;provided, however, that in any
such case where there is an ongoing danger of reprisal, the notice and the statement
of allegations may be drafted so as to conceal the complainant's identity.

(3) The commission shall discourage and shall promptly dismiss complaints which are
frivolous, unfounded or outside commission jurisdiction. The commission shall notify the judge and
the complainant, if any, of such dismissal in accordance with the provisions of subdivisions (1), (2)
and (10).

(4) At any stage of the proceeding, the commission shall be entitled within the time limits
established by commission rule to compel by subpoena the attendance and testimony of witnesses,
including the judge, and to provide for the inspection of documents, books, accounts, and other
records.

(5) After a thorough inquiry, investigation and evaluation, the executive director shall
recommend to the commission, and the commission shall determine, by majority vote, whether there
is adequate reason to proceed to the preparation of a detailed complaint or statement of allegations.
If so, the commission shall request that the complainant file a detailed sworn complaint against the
judge. When a sworn complaint is not obtained, the executive director shall prepare a clear statement
of the allegations against the judge and the alleged facts forming their basis. Said complaint or
statement of allegations shall clearly set forth each act of misconduct where more than one act of
misconduct is alleged, and shall state clearly the provision of statute, code of judicial conduct or code
of professional responsibility alleged to have been violated by each alleged act of misconduct.

(6) The judge shall be served promptly with a copy of the sworn complaint or statement of
allegations.

(7) The judge shall have twenty-one days after receipt of the sworn complaint or statement
of allegations to respond in writing to the charges and, if he wishes, to file a written request for a
personal appearance before the commission.

(8) The judge shall be entitled to counsel of his own choice. After the judge is served with
the sworn complaint or statement of allegations, he shall be entitled before the issuance of formal
charges and within the time limits established by commission rule to compel by subpoena the
attendance and testimony of witnesses, through depositions, and to provide for the inspection of
documents, books, accounts, written or electronically recorded statements, and other records. The
judge may file written material for commission consideration before the issuance of formal charges.

(9) If the judge requests a personal appearance before the commission, he may be
accompanied by counsel, his statement and that of his counsel shall be recorded, and the commission
shall not issue formal charges until after such personal appearance.

(10) If at any time prior to the issuance of formal charges the commission determines that it
does not have sufficient cause to proceed, the commission shall terminate the proceedings by closing
the investigation or dismissing the complaint or the statement of allegations. In that event, the
commission shall give notice to the complainant, if any, and to the judge that it has found insufficient
cause to proceed. The file in any matter so terminated shall be closed.

(11) The commission may not refer subsequently to a file closed before the issuance of formal
charges except in the following circumstances:

(a) in a subsequent proceeding that raises similar allegations against the judge and
indicates a pattern of recurring judicial misconduct;

(b) in a subsequent proceeding alleging conduct in violation of conditions imposed as
part of an informal adjustment pursuant to subdivision (1) of section eight;

(c) in connection with a decision as to the recommended sanction to be imposed in a
subsequent proceeding.

(12) The commission may, upon notice to the judge, amend the allegations prior to a finding
of sufficient cause to issue formal charges. The judge may amend his written response or submit
additional written material for commission consideration before such finding.

(13) After the judge's personal appearance pursuant to subdivision (9), if any, and after the
expiration of any time limit upon written submissions by the judge pursuant to subdivisions (8) and
(12), the commission shall determine whether there is sufficient cause to issue formal charges. A
finding of sufficient cause to issue formal charges shall require the concurrence of the majority of all
commission members that there is a preponderance of credible evidence that the judge's conduct
constitutes grounds for discipline.

(14) When sufficient cause is found, the commission shall issue formal charges stating those
allegations as to which sufficient cause is found. A copy of the formal statement of charges shall be
served promptly upon the judge and the judge shall have ten days to respond. Immediately thereafter,
a copy of such formal statement of charges and of the judge's written response shall be filed with the
supreme judicial court, which shall promptly appoint a hearing officer. Confidentiality shall cease
upon this filing, as provided in section six, and after this filing the proceedings shall be governed by
the provisions of section seven.

SECTION 6. Confidentiality

(1) Except as provided in this section, all proceedings of the commission shall be confidential
until there has been a determination of sufficient cause and formal charges have been filed with the
supreme judicial court. The commission shall ensure that a procedureapplicable to commission
members, counsel and staff is established for enforcing confidentiality.

(2) Notwithstanding the provisions of subdivision (1), the judge may waive his right to
confidentiality prior to a finding of sufficient cause. In addition, in any case in which the subject
matter becomes public, through independent sources or through a waiver of confidentiality by the
judge, the commission may issue such statements as it deems appropriate in order to confirm the
pendency of the investigation, to clarify the procedural aspects of the disciplinary proceedings, to
explain the right of the judge to a fair hearing without prejudgment, or to state that the judge denies
the allegations.

(3) If the inquiry was initiated as a result of notoriety or because of conduct that is a matter
of public record, and is subsequently terminated because there is insufficient cause to proceed,
information concerning the insufficiency of cause to proceed may be released by the commission.

(4) Notwithstanding any other provision of this chapter to the contrary, proceedings pursuant
to this chapter may remain confidential, even after a finding of sufficient cause, if the judge, the
commission, and the complainant, if any, all concur.

(5) If any federal agency, the judicial nominating council, or any like agency for screening
candidates for judicial appointment which succeeds the judicial nominating council, seeks
information or written materials from the commission concerning a judge, in connection with his
selection or appointment as a judge, information may be divulged in accordance with procedures
prescribed by commission rule, including reasonable notice to the judge affected, unless the judge
signs a waiver of the right to such notice. If, in connection with the assignment of a retired judge to
judicial duties, the chief justice of the supreme judicial court or the appeals court or the chief
administrative justice of the trial court seeks information or written materials from the commission
about the judge, information may be divulged in accordance with procedures prescribed by
commission rule, including reasonable notice to the judge affected, unless the judge signs a waiver
of the right to such notice.

SECTION 7. Hearing; recommendation for discipline; attorneys' fees

(1) The commission shall schedule a hearing without undue delay after the appointment of the
hearing officer by the supreme judicial court. The commission shall schedule the time and place of
the hearing, and shall notify the judge and all counsel of the hearing. The judge shall be afforded
ample opportunity to prepare for the hearing and may amend his written response to the charges.

(2) The judge and the commission shall each be entitled to discovery to the extent available
in civil proceedings, within the time limits provided by commission rules. The judge and the
commission shall each be entitled to compel by subpoena the attendance and testimony of witnesses,
including the judge, and to provide for the inspection of documents, books, accounts, and other
records.

(3) The formal hearing shall be public and shall be conducted before the hearing officer
appointed by the supreme judicial court. At the hearing, all testimony shall be under oath, the rules
of evidence applicable to civil proceedings shall apply, and the judge shall be accorded due process
of law.

(4) An attorney or attorneys of the commission staff, or special counsel retained for the
purpose, shall present the matter to the hearing officer. The commission shall have the burden of
proving the charges by clear and convincing evidence. The judge and the commission shall be
permitted to present evidence and cross-examine witnesses, subject to the rules of evidence applicable
tocivil proceedings.

(5) The raising of mental or physical condition as a defense constitutes a waiver of medical
privilege.

(6) By leave of the commission or with the consent of the judge, the statement of charges may
be amended after commencement of the hearing only if the amendment is technical in nature and the
judge and his counsel are given adequate time to prepare a response.

(7) Every hearing shall be transcribed.

(8) The hearing officer shall submit to the commission and to the judge a report containing
proposed findings and recommendations, the transcripts of testimony and all exhibits. Counsel for
the judge and commission shall have twenty days after receipt of such report to submit written
objections to the findings and recommendations, and said objections shall become part of the record.

(9) Before the commission reaches its decision, the judge and the complainant, if any, shall
have the right to be heard before the commission regarding its recommendation for discipline, and
their statements shall be transcribed. Such hearing shall be public, but commission deliberations
regarding such recommendation shall be conducted in executive session. The commission shall reach
a decision on the basis of the full record within ninety days after such hearing, unless there is good
cause for delay. Its conclusions may differ from those proposed by the hearing officer. Its decision
shall state specific reasons for all conclusions and recommendations.

(10) A recommendation for discipline shall be reported to the supreme judicial court only if
a majority of all members of the commission concur that discipline should be recommended. Any
dissent as to the need for or the form of discipline shall be transmitted with the majority decision. A
copy of said recommendation and dissent shall be given to the judge and shall become part of the
public record. The entire record, including transcripts, exhibits and the hearing officer's report, shall
be transmitted to the supreme judicial court.

(11) If a majority of the members of the commission concur that discipline should not be
recommended, the matter shall be dismissed, and the judge and complainant, if any, shall be notified
of such dismissal.

(12) The provisions of subdivisions (10) and (11) shall not be construed to prohibit the
commission from disposing of the matter by informal adjustment pursuant to section eight as a result
of commission deliberations regarding a recommendation for discipline.

(13) The expense of witnesses shall be borne by the party that calls them unless:

(a) physical or mental disability of the judge is in issue, in which case the commission
shall reimburse the judge for the reasonable expenses of the witnesses whose
testimony related to the disability; or

(b) the supreme judicial court determines that the imposition of costs and expert
witness fees will work a financial hardship or injustice upon him and orders that those
fees be reimbursed.

(14) All witnesses shall receive fees and expenses in the same manner as witnesses in civil
actions before the courts. A transcript of all proceedings shall be provided to the judge without cost.
Except as provided in subdivision (13), costs of all proceedings shall be at public expense.

(15) With the approval of the supreme judicial court, a judge shall be entitled to the payment
of reasonable attorneys' fees by the commonwealth in any case where the matter is dismissed by the
commission at any stage after the filing of a sworn complaint or statement of charges, where the
supreme judicial court determines despite a commission recommendation for discipline that no
sanction is justified, or where the supreme judicial court determines that justice will be served by the
payment of such fees.

SECTION 8. Informal adjustment; sanctions

(1) With the agreement of the judge, the commission may by informal adjustment dispose of
a complaint at any stage of the proceedings by:

(a) informing or admonishing the judge that his conduct is or may be cause for
discipline;

(b) directing professional counseling and assistance for the judge;

(c) imposing conditions on the judge's conduct; or

(d) persuading a judge to retire voluntarily.

(2) The commission may dismiss a sworn complaint, a statement of allegations or a formal
statement of charges as unjustified or unfounded at any stage during the proceedings.

(3) The commission may issue a private reprimand with the consent of the judge.

(4) The commission may recommend to the supreme judicial court one or more of the
following sanctions:

(a) removal;

(b) retirement;

(c) imposition of discipline as an attorney;

(d) imposition of limitations or conditions on the performance of judicial duties;

(e) public or private reprimand or censure;

(f) imposition of a fine;

(g) assessment of costs and expenses;

(h) imposition of any other sanction which is reasonable and lawful.

SECTION 9. Charges against supreme judicial court member

The chief justice and thesix most senior justices of the appeals court other than the chiefjustice shall serve in the place of the supreme judicial court when charges are brought against a
member of the supreme judicial court.

SECTION 10. Physical or mental disabilities

(1) The commission shall have authority to receive information, investigate, conduct hearings,
and make recommendations to the court relating to mental or physical disability affecting a judge's
performance.

(2) In carrying out its responsibilities regarding physical or mental disabilities, the commission
shall follow the same procedures that it employs with respect to discipline for misconduct.

(3) If the judge in a matter relating to physical or mental disability is not represented by
counsel, the commission shall appoint an attorney to represent him at public expense.

(4) If a complaint involves the physical or mental condition of the judge, a denial of the
alleged condition shall constitute a waiver of medical privilege and the judge shall be required to
produce his medical records.

(5) If medical privilege is waived, the judge shall be deemed to have consented to a physical
or mental examination by a qualified medical practitioner designated by the commission. The report
of the medical practitioner shall be furnished to the commission and the judge.

SECTION 11. Advisory committee

The supreme judicial court may establish an advisory committee on the code of judicial
conduct, which may render advisory opinions to judges at their request or on its own motion.

APPENDIX B

RULES OF THE COMMISSION ON JUDICIAL CONDUCT

Effective April 1, 1988

SCOPE AND TITLE

These rules govern the procedures of the Commission on Judicial Conduct in the exercise of
its jurisdiction pursuant to Chapter 211C of the General Laws as appearing in St. 1987, c. 656, and
apply to proceedings which are initiated on or after April 1, 1988. These rules shall be known and
may be cited as the Rules of the Commission on Judicial Conduct (R.C.J.C.). (Any proceedings
initiated prior to April 1, 1988, shall be governed by the rules which were in effect under Chapter
211C before April 1, 1988.)

RULE 1. DEFINITIONS

A. "Anonymous Complaint" means a complaint, written or oral, received by the Commission,
in which the identity of the complainant is not revealed.

B. "Chairman" and "Vice Chairman" refer to members of the Commission elected as such by
vote of the Commission. Whenever used in these rules, the word "Chairman" shall include, in the
absence of the Chairman, the Vice Chairman or other member acting as Chairman.

C. "Commission" means the Commission on Judicial Conduct.

D. "Complainant" means a person or entity who has communicated to the Commission a
complaint against a judge.

E. "Complaint" means any oral or written statement which alleges judicial misconduct or
physical or mental disability of a judge.

F. "Executive Director" means the Executive Director of the Commission or a member of the
Commission's staff acting under the Executive Director's supervision.

G. "Judge" means a judge or justice of any court of this Commonwealth.

H. "Notoriety" means broad public knowledge.

I. "Reasonable Information" means any information, including reports in the news media,
which comes to the attention of the Commission and which contains credible allegations about a
judge that, if true, would constitute misconduct or disability within the jurisdiction of the Commission
under Chapter 211C.

J. "Shall" is mandatory; "may" is permissive.

K. "Special Counsel" means an attorney, appointed by the Supreme Judicial Court at the
request of the Commission, to conduct investigations, to make recommendations to the Commission,
and/or to present evidence at a hearing, with respect to a complaint or charges against a judge, or to
take any other action related thereto which the Commission may direct.

L. "Statement of Allegations" means a clear statement of the allegations against a judge and
the alleged facts forming their basis.

M. "Sworn Complaint" means a detailed written complaint which the complainant signs under
oath and files, at the request of the Commission.

Amended September 14, 1999, effective October 1, 1999.

RULE 2. COMPOSITION OF COMMISSION

A. The composition of the Commission and terms of its members are as provided in Chapter
211C.

B. A member of the Commission shall not participate in any proceeding in which the
impartiality of that member might reasonably be questioned. Disqualification pursuant to this section
shall be by the member involved or by affirmative vote of at least five (5) members of the
Commission.

(1) Upon the call of the Chairman, an alternate member shall serve in place of a
member of the Commission who has been disqualified from participating in a
Commission proceeding or is otherwise unable to serve. Whenever an alternate
member is called to serve inthe place of a member of the Commission, the judge in
question and the complainant shall be so notified.

C. If a Commission member ceases to be qualified for the appointment to represent the
category for which he was appointed, resigns, or becomes permanently unable to serve for any reason,
a vacancy shall occur. An appointment to fill a vacancy for the duration of the unexpired term shall
be made by the appropriate appointing authority forthwith.

RULE 3. ORGANIZATION OF COMMISSION

A. A Chairman and Vice Chairman shall be elected annually by the members of the
Commission.

B. Meetings of the Commission shall be held upon the call of the Chairman or the written
request of at least three members of the Commission. Meetings shall not be held on less than three
days notice; but this requirement may be waived by consent of all the members. The Chairman shall
preside at meetings of the Commission, and the Vice Chairman shall act in the absence or
disqualification of the Chairman. In the absence or disqualification of both the Chairman and the
Vice Chairman, the members shall select one among them as acting Chairman.

C. A quorum of the Commission shall consist of five members, including at least one judge,
one member of the bar who is not a judge, and one lay person who is not a member of the bar. An
affirmative vote of at least five members of the Commission is required to dismiss, informally adjust,
or otherwise dispose of a proceeding; to issue formal charges against a judge; or to make
recommendations to the Supreme Judicial Court regarding disciplinary action. A vote may be taken
by telephone when a decision is required sooner than a meeting could be held, unless any member
objects.

RULE 4. JURISDICTION OF THE COMMISSION

A. The Commission shall have the authority to receive information, conduct investigations
and hearings, and make recommendations to the Supreme Judicial Court concerning allegations of
judicial misconduct or disability.

B. The Commission's jurisdiction shall include the conduct of all active judges prior to, as
well as during, their service in judicial office and shall also include the conduct of a retired judge who
has been recalled.

RULE 5. CONFIDENTIALITY

A. All proceedings prior to a determination of sufficient cause and the filing of formal charges
shall be confidential.

B. Records, files, and reports of the Commission shall be confidential, and no disclosure shall
be made, except as follows:

(1) Upon waiver in writing by the judge at any stage of the proceedings;

(2) Upon inquiry by an appointing authority or by a state or federal agency conducting
investigations on behalf of such authority in connection with the selection or
appointment of judges; or upon inquiry in connection with the assignment or recall of
a retired judge to judicial duties, by or on behalf of the assigning authority, in which
case the Commission may:

(a) divulge whatever information is a matter of public record; and

(b) after obtaining the judge's signed waiver, divulge other relevant
information; or

(c) divulge other relevant information after giving written notice to the judge
affected of its intention to do so and allowing the judge seven (7) days to
respond.

(3) In cases in which the subject matter has become public, the Commission may issue
such statements as it deems appropriate in order to confirm the pendency of the
investigation, to clarify the procedural aspects of the proceedings, to explain the right
of the judge to a fair hearing, or to state that the judge denies the allegations;

(4) Upon filing of formal charges, in which case only the formal charges, the answer
thereto, the evidentiary hearings thereon, and the final recommendation by the
Commission as to disposition shall become public, except as provided in paragraph
D below.

C. Where the circumstances necessitating the initiation of an inquiry include notoriety, or
where the conduct in question is a matter of public record, information concerning the lack of cause
to proceed may be released by the Commission.

D. Proceedings may remain confidential, even after a finding of sufficient cause, if the judge,
the Commission, and the complainant, if any, all concur.

E. If, in the course of its proceedings, the Commission becomes aware of credible evidence
that any person has committed a crime, the Commission may report such evidence to the appropriate
law enforcement agency.

RULE 6. COMMISSION PROCEEDINGS: INITIAL STAGES;

GENERAL PROVISIONS

A. Initiation of Proceeding. A Commission proceeding relating to the conduct of a judge
is initiated when the Commission receives a written or oral complaint, or when the Commission by
motion creates its own complaint, on the basis of reasonable information.

B. Screening. The Executive Director shall cause each complaint to be screened promptly
upon its receipt. The screening may include communication with the complainant, if any, to clarify
the contents of the complaint, but shall not include any investigation of the allegations set forth in the
complaint.

C. Docketing and Notification.

(1) If the Executive Director determines after screening that the complaint does not
set forth facts concerning a judge's conduct which, if true, would constitute
misconduct or disability within the Commission's jurisdiction, the Executive Director
shall notify the complainant that the complaint will not be docketed or investigated
by the Commission.

(2) If the Executive Director determines after screening a complaint that it alleges
specific facts which, if true, would constitute misconduct or disability within the Commission's
jurisdiction, the Executive Director shall docket the complaint.

(3) Except as provided in Rules 6(D), 6(E), 6(F) and 6(G), the Executive Director
shall notify the judge of the complaint promptly after it is docketed. Notification shall
be by certified mail or registered mail, addressed to the judge's last known place of
residence, unless the judge has requested a different mailing address or the use of
regular mail. Except, where notice of the complaint is delayed or withheld pursuant
to Rule 6(G), the Executive Director shall not conduct any inquiry into or
investigation of the complaint until notice has been sent to the judge.

D. Frivolous or Unfounded Complaints. If, on the basis of screening, the Executive
Director is of the opinion that a docketed complaint is frivolous or unfounded, the Executive Director
shall promptly recommend its dismissal to the Commission before notifying the judge of the
complaint. If a majority of the Commission votes to dismiss the complaint, the Executive Director
shall promptly notify the complainant of the dismissal and the judge of both the complaint and its
dismissal. If a majority of the Commission does not vote to dismiss the complaint, except as provided
in Rule 6(G), the Executive Director shall promptly notify the judge of the complaint in accordance
with Rule 6(C)(3).

E. Stale Complaints. When a complaint is docketed in which the allegations arise out of acts
or omissions all occurring more than one year prior to the date the complaint was filed, the Executive
Director shall, before notifying the judge of the complaint and before undertaking any inquiry or
investigation of its allegations, make a recommendation to the Commission as to whether there exists
good cause to investigate the complaint. If a majority of the Commission determines that there is not
good cause to investigate the complaint, the complaint shall be dismissed without investigation, and
the complainant, if any, as well as the judge, shall be so notified. If a majority of the Commission
determines that there is good cause to investigate the complaint, except as provided in Rule 6(G), the
Executive Director shall notify the judge of the complaint pursuant to Rule 6(C)(3). When a
complaint alleges a pattern of recurring misconduct the last episode of which is alleged to have
occurred less than one year prior to the filing of the complaint, a determination by the Commission
of "good cause" pursuant to this Rule is not necessary.

F. Anonymous Complaints. Following the docketing of an anonymous complaint pursuant
to Rule 6(C)(2), the Executive Director shall not conduct any inquiry or investigation of it unless the
Commission, upon the recommendation of the Executive Director, determines by majority vote that
the allegations of the anonymous complaint would, if true, constitute misconduct or disability within
the jurisdiction of the Commission, and the seriousness or the notoriety of the misconduct alleged
outweighs the potential prejudicial effect of an investigation into the merits of the complaint. If the
Commission does not make such a determination, the complaint shall be dismissed, and the Executive
Director shall promptly notify the judge of both the complaint and its dismissal. If the Commission
does make such a determination, except as provided in Rule 6(G), the Executive Director shall
promptly notify the judge of the anonymous complaint in accordance with Rule 6(C)(3).

G. Withholding Notification. If the Executive Director is of the opinion that, because of
the nature of the complaint or the identity of the complainant, notification to the judge would create
a substantial risk that evidence material to its investigation might be lost or destroyed, or that there
is a substantial danger of reprisal or retaliation by the judge against the complainant or any other
person mentioned in the complaint, the Executive Director shall recommend to the Commission that
notice of the complaint to the judge be delayed or that notice of certain information in the complaint
be delayed. No inquiry or investigation into the complaint beyond the screening process shall take
place until the Commission has voted on the Executive Director's recommendation.

(1) If a majority of the Commission does not vote to approve any delay in notifying
the judge of the complaint in whole or in part, the Executive Director shall promptly
notify the judge of the complaint in accordance with Rule 6(C)(2).

(2) If a majority of the Commission determines that notice to the judge of the
complaint in its entirety would create a substantial risk of lost or destroyed evidence
or of reprisal, the Commission shall vote to approve the delay in notifying the judge
of the complaint in whole or in part. If the Commission approves a delay in providing
notice to the judge of any portion of the complaint, the Executive Director shall
proceed with an investigation of the complaint pursuant to Rule 6H. If the
Commission approves a delay in providing notice to the judge of certain information
in the complaint such as the identity of the complainant, the Executive Director shall
promptly notify the judge in accordance with Rule 6(C)(3) of all portions of the
complaint for which no delay was approved before proceeding with any investigation.

(3) Notice of a complaint may be delayed pursuant to this paragraph only until the
Commission obtains the necessary evidence or the risk of reprisal ends.

(4) The Commission shall take reasonable steps to insure that as much notice as
possible of the complaint's allegations is provided to the judge at the earliest time
feasible in accordance with this Rule.

H. Investigation. Unless a complaint is dismissed pursuant to Rule 6(D), 6(E) or 6(F), and
except as provided in Rule 6G, after notice is given to the judge pursuant to Rule 6(C)(3), the
Executive Director shall initiate a discreet and confidential investigation and evaluation of the
complaint.

I. Request for Special Counsel. If in the course of an investigation the Executive Director
concludes that Special Counsel is required, the Executive Director shall recommend that the
Commission request the appointment of a Special Counsel by the Supreme Judicial Court. The
Commission may also take such action upon its own motion.

J. Sworn Complaint or Statement of Allegations. Within ninety (90) days after the
initiation of proceedings, the Executive Director shall recommend to the Commission whether there
is adequate reason to proceed to the preparation of a Sworn Complaint or Statement of Allegations.

(1) The Commission shall so decide by majority vote.

(2) If the Executive Director recommends that further investigation is necessary before
making this determination, the Commission may vote to continue the investigation on
a month-to-month basis.

(3) If the Commission finds that there is sufficient cause to proceed, the complainant,
if any, shall be asked to file a detailed, signed, Sworn Complaint against the judge.
The Sworn Complaint shall state the facts constituting the alleged misconduct.
Immediately upon receipt of the Sworn Complaint, the Executive Director shall make
written acknowledgment thereof to the complainant.

(4) When a Sworn Complaint is not obtained, a Statement of Allegations against the
judge and the alleged facts forming their basis shall be prepared by the Executive
Director. Where more than one act of misconduct is alleged, each act should be
clearly set forth in the Sworn Complaint, or in the Statement of Allegations, as the
case may be.

(5) In any case where the judge has not yet been notified of the entire complaint
pursuant to Rule 6(G), if the Commission determines by a majority vote that there
remains an ongoing danger of reprisal, the Sworn Complaint or the Statement of
Allegations may be drafted so as to conceal the complainant's identity.

K. Same; Service. The judge shall immediately be served with a copy of the Sworn
Complaint or Statement of Allegations.

L. Same; Answer. Within twenty-one (21) days after the service of the Sworn Complaint
or the Statement of Allegations, the judge may file a written answer with the Executive Director and
may request a personal appearance before the Commission, in lieu of or in addition to a written
response. If the judge elects to appear personally, his or her statement shall be recorded.

M. Same; Dismissal. After the judge's answer and personal appearance, if any, the
Commission may terminate the proceeding and dismiss the complaint and, in that event, shall give
notice to the judge and the complainant that it has found insufficient cause to proceed.

N. Same; Amendment. Amendment of the allegations regarding the misconduct of a judge,
whether presented to the Commission in a Sworn Complaint or in a Statement of Allegations, shall
be permitted prior to a finding of sufficient cause, provided that notice thereof and an opportunity
further to respond within twenty-one (21) days is given to the judge.

O. Right to Counsel. The judge shall be entitled to counsel of the judge's own choice.

P. Right to Compel Attendance of Witnesses and Inspection of Records. At any stage
of the proceeding, the Commission or its designee may administer oaths or affirmations and shall be
entitled to compel the attendance and testimony of witnesses, including the judge himself or herself,
and the production of papers, books, accounts, documents, electronic recordings, other tangible
things, or any other relevant evidence or testimony.

(1) Upon receiving the Sworn Complaint or Statement of Allegations, the judge shall
become entitled to compel by subpoena the attendance and testimony of witnesses
through depositions, and to provide for the inspection of documents, books, accounts,
written or electronically-recorded statements, and other records.

(2) Witnesses may be interviewed, whether or not under oath and whether or not their
statements are memorialized, without the presence of other participants. In other
circumstances, statements may be taken as depositions, in accordance with Rule 9.

Q. Privilege. A complaint submitted to the Commission or its staff, or testimony with respect
thereto, shall be absolutely privileged. No civil action predicated on the complaint shall be instituted
against a complainant or a witness, or against counsel to either of them.

R. Recommendation Concerning Assignment. At any time the Commission may
recommend to the Supreme Judicial Court, or to the Chief Justice for Administration and
Management and the appropriate Chief Justice, the non-assignment or special assignment of a judge,
pending the final disposition of a proceeding. The Commission shall state the reasons for its
recommendation. A copy of any such recommendation shall be sent by the Commission to the judge.

S. Consultation. In the course of a proceeding, the Commission may consult with the Chief
Justice for Administration and Management and the appropriate Chief Justice about administrative
matters.

T. Record of Commission Proceedings. The Commission shall keep a record of all
proceedings concerning a judge. The Commission's findings, conclusions and recommendations shall
be entered in the record.

U. Extensions of Time. The Chairman of the Commission may for good cause extend the
time for the filing of an answer, discovery, commencement of a hearing, or transmittal of the Hearing
Officer's report, and any other time limit set herein.

Amended September 14, 1999, effective October 1, 1999.

RULE 7. SUFFICIENT CAUSE FOR FORMAL CHARGES

A. Following the expiration of the twenty-one (21) days allowed for the judge's response, for
any proceedingnot dismissed, the Commission shall thereafter hold a formal meeting which shall be
conducted in private, at which the rules of evidence need not be observed. The judge shall have the
right to make a personal appearance with his attorney, but not to be present during the Commission
deliberations.

B. At this meeting the Commission shall vote to dispose of the case in one of the following
ways:

(1) If it finds that there has been no misconduct, the Executive Director shall be
instructed to send the judge and the complainant notice of dismissal.

(2) If it finds that there has been misconduct for which a private reprimand constitutes
adequate discipline, and if the judge consents, it shall issue the reprimand. The
complainant shall be notified that the matter has been so resolved.

(3) If it finds that there has been conduct that is or might be cause for discipline but
for which an informal adjustment is appropriate, it may, with the agreement of the
judge, so inform or admonish the judge, direct professional counseling or assistance
for the judge, or impose conditions on the judge's future conduct. The complainant
shall be notified that the matter has been so resolved. When either conditions or
treatment is prescribed, the Commission shall provide for supervision, enforcement
thereof, or both.

(4) If it finds by a preponderance of the credible evidence that there is sufficient cause
to believe that there has been misconduct of a nature requiring a formal disciplinary
proceeding, the Commission shall issue formal charges against the judge. A copy of
the formal charges shall be served promptly upon the judge, and the judge shall have
ten (10) days to respond.

RULE 8. SCHEDULING OF FORMAL HEARING

A. Upon the filing of the judge's written response to the formal charges or the expiration of
the time for its filing, a copy of the formal charges and of the judge's written response shall be filed
with the Supreme Judicial Court, which shall promptly appoint a Hearing Officer.

B. Immediately upon the appointment of a Hearing Officer by the Supreme Judicial Court, the
Commission shall schedule a hearing to take place in not less than thirty (30) nor more than sixty (60)
days. The Commission shall immediately notify the judge and all counsel of the time and place for
the hearing.

RULE 9. DISCOVERY DURING THE FORMAL PROCEEDING STAGE

A. Attached to the notice required by Rule 7B(4) shall be further notice that the Commission
shall, within a reasonable time, make available for inspection upon the written request of the judge
all books, papers, records, documents, electronic recordings, and other tangible things within the
custody and control of the Commission which are relevant to the issues of the disciplinary proceeding,
and any written or electronically recorded statements within the custody and control of the
Commission which are relevant to the issues of the disciplinary proceeding. The failure of the
Commission to furnish timely any such materials provided for herein shall not affect the validity of
any proceedings before the Commission, provided that such failure is not substantially prejudicial to
the judge.

B. Within thirty (30) days after service of the formal charges, the Commission or the judge

(1) May upon written request to the appropriate party prior to the hearing:

(a) Have made available to him for inspection and copying within a reasonable
period of time all books, papers, records, documents, electronic recordings, or
other tangible things which that party intends to present at a hearing.

(b) Obtain the names and addresses of witnesses to the extent known to a party
in the proceeding, including an identification of those intended to be called to
testify at the hearing.

(c) Have made available to him for inspection and copying within a reasonable
period of time any written or electronically recorded statements made by
witnesses who will be called to give testimony at thehearing.

(2) May, upon written application to the Commission, upon such terms and conditions
as the Commission may impose:

(a) Depose within or without the Commonwealth persons having relevant
testimony. The complete record of the testimony so taken shall be made and
preserved by stenographic record or electronic recording.

(i) The written application to the Commission shall state the name and
post office address of the witness, the subject matter concerning which the
witness is expected to testify, the time and place of taking the deposition,
and the reason why such deposition should be taken.

(ii) Unless notice is waived, no deposition shall be taken except after at
least seven (7) days notice to the other parties.

(iii) Unless otherwise directed by the
Commission, the deponent may be
examined regarding any matter not privileged which is relevant to the
subject matter of the proceedings. Parties shall have the right of
cross-examination, and objection. In making objections to questions or
evidence, the grounds relied upon shall be stated briefly, but no
transcript
filed by the notarial officer shall include argument or debate.
Objections
to questions or evidence shall be noted by the notarial officer upon
the
deposition, but he shall not have the power to decide on the
competency,
materiality, or relevancy of evidence. Objections to the competency,
relevancy, or materiality of the testimony are not waived by failure to
make them before or during the taking of the deposition.

(b) Subpoena relevant witnesses and documents.

(c) Seek any limitation or protection for any discovery permitted by this rule.

C. Nothing in these rules shall be construed to require the discovery of any report made to the
Commission by Special Counsel or other person conducting an investigation for the Commission.
Furthermore, in granting discovery the Commission shall protect against disclosure of the mental
impressions, conclusions, opinions, or legal theories of an attorney or other representative of a witness
or party in these proceedings.

D. Other issues relative to discovery which are not covered in these rules shall be addressed
or resolved in accordance with the comparable provisions of the Massachusetts Rules of Civil
Procedure.

RULE 10. FORMAL HEARING

A. The formal hearing shall be conducted before the Hearing Officer appointed by the
Supreme Judicial Court.

B. The hearing shall be open to the public. The rules of evidence applicable to civil
proceedings in Massachusetts shall apply, and all testimony shall be under oath. Commission
attorneys, or Special Counsel retained for the purpose, shall present the case. The judge whose
conduct is in question shall be permitted to adduce evidence and produce and cross-examine
witnesses. The Commission shall have the burden of proving the charges by clear and convincing
evidence. Every hearing shall be transcribed.

C. The formal charges may be amended after commencement of the public hearing only if the
amendment is technical in nature and if the judge and his counsel are given adequate time to prepare
a response.

RULE 11. POST-HEARING PROCEDURE

A. Within thirty (30) days after the conclusion of the hearing, the Hearing Officer shall submit
to the Commission and to the judge a report which shall contain proposed findings and
recommendations, the transcripts of testimony, and all exhibits.

B. Upon receipt of the report of the Hearing Officer, the Commission shall send a copy of the
report to the complainant forthwith.

C. Within twenty (20) days after receipt of such report, counsel for the judge and for the
Commission shall each be allowed to submit to the Commission written objections to theproposed
findings and recommendations. Any such objections shall become part of the record.

D. Within the same twenty (20) day period the judge and the complainant, if any, may file a
written request to be heard before the Commission regarding its recommendation for discipline.

E. If either participant does so request, notice shall be given to both as to the scheduled time
and place for such hearing, at least seven (7) days in advance. Such hearing shall be public, but
Commission deliberations regarding such recommendation shall be conducted in executive session.

F. Unless there is good cause for delay, the Commission shall reach a decision on the basis
of the full record within ninety (90) days after the hearing concerning recommendation for discipline,
if there is such a hearing, or otherwise within ninety (90) days after receipt of the Hearing Officer's
report. Its conclusions may differ from those proposed by the Hearing Officer. Its decision shall state
specific reasons for all conclusions and recommendations.

RULE 12. CASES INVOLVING ALLEGATIONS OF MENTAL OR PHYSICAL
DISABILITY

In considering allegations of mental or physical disability, the Commission shall, insofar as
applicable and except as provided below pursuant to Chapter 211C, section 10, follow procedures
established by these rules.

A. If in a matter relating to mental or physical disability the judge is not represented by
counsel, the Commission shall appoint an attorney to represent him at public expense.

B. If a complaint or statement of allegations involves the mental or physical health of a judge,
a denial of the alleged disability or condition shall constitute a waiver of medical privilege and the
judge shall be required to produce his medical records.

C. In the event of a waiver of medical privilege, the judge shall be deemed to have consented
to an examination by a qualified medical practitioner designated by the Commission. The report of
the medical practitioner shall be furnished to the Commission and the judge.

APPENDIX C

CODE OF JUDICIAL CONDUCT

(Supreme Judicial Court Rule 3:09)

CANON 1

A Judge Should Uphold the Integrity and

Independence of the Judiciary

An independent and honorable judiciary is indispensable to justice in our society. A judge
should participate in establishing, maintaining, and enforcing, and should himself observe, high
standards of conduct so that the integrity and independence of the judiciary may be preserved. The
provisions of this Code should be construed and applied to further that objective without any
limitation upon the Supreme Judicial Court in the exercise of its power of general superintendence,
whether statutory or inherent, in areas not delineated in the Code.

CANON 2

A Judge Should Avoid Impropriety and the Appearance

of Impropriety in All His Activities

(A) A judge should respect and comply with the law and should conduct himself at all times
in a manner that promotes public confidence in the integrity and impartiality of the judiciary.

(B) A judge should not allow his family, social, or other relationships to influence his judicial
conduct or judgment. He should not lend the prestige of his office to advance the private interests
of others; nor should he convey or permit others to convey the impression that they are in a special
position to influence him. He should not testify voluntarily as a character witness.

(C) A judge shall not hold membership in any organization that practices invidious
discrimination on the basis of race, sex, religion, or national origin.

Amended effective Jan. 1, 1992.

CANON 3

A Judge Should Perform the Duties of His Office

Impartially and Diligently

The judicial duties of a judge take precedence over all his other activities. His judicial duties
include all the duties of his office prescribed by law. In the performance of these duties, the following
standards apply:

(A) Adjudicative Responsibilities.

(1) A judge should be faithful to the law and maintain professional competence in it.
He should be unswayed by partisan interests, public clamor, or fear of criticism.

(2) A judge should maintain order and decorum in proceedings before him.

(3) A judge should be patient, dignified, and courteous to litigants, jurors, witnesses,
lawyers, and others with whom he deals in his official capacity, and should require
similar conduct of lawyers, and of his staff, court officials, and others subject to his
direction and control.

(4) A judge should accord to every person who is legally interested in a proceeding,
or his lawyer, full right to be heard according to law. He should not permit private
interviews, arguments or communications designed to influence his judicial action,
where interests to be affected thereby are not represented before him, except in cases
where provision is made by law for ex parte application.

(5) A judge should dispose promptly of the business of the court.

(6) A judge should abstain from public comment about a pending or impending
proceeding in any court, and should require similar abstention on the part of court
personnel subject to his direction and control. This subsection does not prohibit
judges from making public statements in the course of their official duties or from
explaining for public information the procedures of the court.

(B) Administrative Responsibilities.

(1) A judge should diligently discharge his administrative responsibilities, maintain
professional competence in judicial administration, and facilitate the performance of
the administrative responsibilities of other judges and court officials.

(2) A judge should require his staff and court officials subject to his direction and
control to observe the standards of fidelity and diligence that apply to him.

(3) If a judge shall become aware of unprofessional conduct by a judge or a lawyer

(a) he shall, in the instance of a judge, report his knowledge to the Chief
Justices of this court and of the court of which the judge in question is a
member, and

(b) in the instance of a lawyer, he shall initiate appropriate investigative or
disciplinary measures.

(4) A judge should not make unnecessary appointments. He should exercise his
power of appointment only on the basis of merit, avoiding nepotism and favoritism.
He should not approve compensation of appointees beyond the fair value of service
rendered.

(5) A judge shall perform judicial duties without bias or prejudice. A judge shall not,
in the performance of judicial duties, by words or conduct manifest bias or prejudice,
including but not limited to bias or prejudice based upon race, sex, religion, national
origin, disability, age, sexual orientation or socioeconomic status, and shall not permit
staff, court officials and others subject to the judge's direction and control to do so.

(6) A judge shall require lawyers in proceedings before the judge to refrain from
manifesting, by words or conduct, bias or prejudice based upon race, sex, religion,
national origin, disability, age, sexual orientation or socioeconomic status, against
parties, witnesses, counsel or others. This Section 3B(6) does not preclude legitimate
advocacy when race, sex, religion, national origin, disability, age, sexual orientation
or socioeconomic status, or similar factors, are issues in the proceeding.

(C) Disqualification.

(1) A judge should disqualify himself in a proceeding in which his impartiality might
reasonably be questioned, including but not limited to instances where:

(a) he has a personal bias or prejudice concerning a party, or personal
knowledge of disputed evidentiary facts concerning the proceeding;

(b) he served as a lawyer in the matter of controversy, or a lawyer with whom
he previously practiced law served during such association as a lawyer
concerning the matter, or the judge or such lawyer has been a material witness
concerning it;

(c) he knows that he, individually or as a fiduciary, or his spouse or minor
child residing in his household, has a financial or other property interest in the
subject matter in controversy or in a party to the proceeding, which interest
could be substantially affected by the outcome of the proceedings;

(d) he or his spouse, or a person within the third degree of relationship to
either of them, or the spouse of such a person:

(i) is a party to the proceeding, or an officer, director, or trustee of a party;

(ii) is acting as a lawyer in the proceeding;

(iii) is known by the judge to have an interest that could be substantially
affected by the outcome of the proceeding;

(iv) is to the judge's knowledge likely to be a material witness in the
proceeding.

(2) A judge should inform himself about his personal and fiduciary financial interests,
and make a reasonable effort to inform himself about the personal financial interest
of his spouse and minor children residing in his household.

(3) For the purposes of this section:

(a) the degree of relationship is calculated according to the civil law system;

(b) "fiduciary" includes such relationships as executor, administrator, trustee,
and guardian;

(c) "financial interest" means ownership of a substantial legal or equitable
interest, or a relationship as director, advisor, or other active participant in the
affairs of a party, except that:

(i) ownership in a mutual or common investment fund that holds securities
is not a "financial interest" in such securities unless the judge participates
in the management of the fund;

(ii) an office in an educational, religious, charitable, fraternal, or civic
organization is not a "financial interest" in securities held by the
organization.

(iii) the proprietary interest of a policyholder in a mutual insurance
company, of a depositor in a mutual savings association, or a similar
proprietary interest, is a "financial interest" in the organization only if the
outcome of the proceeding could substantially affect the value of the
interest;

(iv) ownership of government securities or of less than one-hundredth of
one percent of the total shares issued and outstanding of any corporation
or of its parent or subsidiary corporations is a "financial interest" in the
issuer of such securities or its parent or subsidiaries only if the outcome of
the proceeding could substantially affect the value of the securities.

(D) Remittal of Disqualification.

A judge disqualified by the terms of Canon 3(C)(1)(c) or Canon 3(C)(1)(d) may, instead of
withdrawing from the proceeding, disclose on the record the basis of his disqualification. If, based
on such disclosure, the lawyers, after consultation with their clients independently of the judge's
participation, agree in writing that the judge's relationship is immaterial or that his financial interest
is insubstantial, the judge is no longer disqualified, and may participate in the proceeding. The
agreement, signed by all lawyers, shall be incorporated in the record of the proceeding.

A judge, subject to the proper performance of his judicial duties, may engage in the following
quasi-judicial activities, if in doing so he does not cast doubt on his capacity to decide impartially any
issue that may come before him:

(A) He may speak, write, lecture, teach, and participate in other activities concerning the law,
the legal system, and the administration of justice.

(B) He may appear at a public hearing before an executive or legislative body or official on
matters concerning the law, the legal system, and the administration of justice, and he may otherwise
consult with an executive or legislative body or official, but only on matters concerning the
administration of justice.

(C) He may serve as member, officer, or director of an organization devoted to the
improvement of the law, the legal system, or the administration of justice. He may assist such an
organization in raising funds and may participate in their management and investment, but should not
personally participate in public fund raising activities. He may make recommendations to public and
private fund granting agencies on projects and programs concerning the law, the legal system, and the
administration of justice.

CANON 5

A Judge Should Regulate His Extra-Judicial Activities

to Minimize the Risk of Conflict with His Judicial Duties

(A) Avocational Activities.

A judge may write, lecture, teach, and speak on nonlegal subjects, and engage in the arts,
sports, and other social and recreational activities, if such avocational activities do not detract
from the dignity of his office or interfere with the performance of his judicial duties.

(B) Civic and Charitable Activities.

A judge may participate in civic and charitable activities that do not reflect adversely upon
his impartiality or interfere with the performance of his judicial duties. A judge may serve as an
officer, director, trustee, or nonlegal advisor of an educational, religious, charitable, fraternal, or
civic organization not conducted for the economic or political advantage of its members, subject
to the following limitations:

(1) A judge should not serve if it is likely that the organization will be engaged in
proceedings that would ordinarily come before him or will be regularly engaged
in adversary proceedings in any court.

(2) A judge should not solicit funds for any educational, religious, charitable,
fraternal, or civil organization, or use or permit the use of the prestige of his office
for that purpose, but he may be listed as an officer, director, or trustee of such an
organization. He should not be a speaker or the guest of honor at an organization's
fund raising events, but he may attend such events.

(3) A judge should not give investment advice to such an organization, but he may
serve on its board of directors or trustees even though it has the responsibility for
approving investment decisions.

(C) Financial Activities.

(1) A judge should refrain from financial and business dealings that tend to reflect
adversely on his impartiality, interfere with the proper performance of his judicial
position, or involve him in frequent transactions with lawyers or persons likely to
come before the court on which he serves.

(2) Subject to the requirements of subsection (1), a judge may hold and manage
investments, including real estate, and engage in other remunerative activity
permitted by Canon 4, but should not serve as an officer, director, manager,
advisor, or employee of any business.

(3) A judge should manage his investments and other financial interests to
minimize the number of cases in which he is disqualified. As soon as he can do
so without serious financial detriment, he should divest himself of investments
and other financial interests that might require frequent disqualification.

(4) Neither a judge nor a member of his family residing in his household should
accept a gift, bequest, favor, or loan from anyone except as follows:

(a) A judge may accept a gift of nominal value incident to public
recognition of him; books supplied by publishers on a complimentary
basis for official use; or an invitation to the judge and his spouse to attend
a bar-related function or activity devoted to the improvement of the law,
the legal system, or the administration of justice;

(b) a judge or a member of his family residing in his household may accept
ordinary social hospitality; a gift, bequest, favor, or loan from a relative;
a gift from a wedding, engagement, confirmation, or like traditional
ceremonial occasion; a loan from a lending institution in its regular course
of business on the same terms generally available to persons who are not
judges; or a scholarship or fellowship awarded on the same terms applied
to other applicants;

(c) a judge or a member of his family residing in his household may accept
any other gift, bequest, favor, or loan only if the donor is not a party or
other person whose interests have come or are likely to come before him,
and, if its value exceeds $350, the judge reports it in the same manner as
he reports compensation in Canon 6(C).

(5) For the purposes of this section "member of his family residing in his
household" means any relative of a judge by blood or marriage, or a person treated
by a judge as a member of his family, who resides in his household.

(6) A judge is not required by this Code to disclose his income, debts, or
investments, except as provided in this Canon and Canons 3 and 6.

(7) Information acquired by a judge in his judicial capacity should not be used or
disclosed by him in financial dealings or for any other purpose not related to his
judicial duties.

(D) Fiduciary Activities.

A judge should not serve as the executor, administrator, trustee, guardian, or other
fiduciary, except for the estate, trust, or person of a member of his family, and then only if such
service will not then interfere with the proper performance of his judicial duties. "Member of his
family" includes a spouse, child, grandchild, parent, grandparent, or other relative or person with
whom the judge maintains a close familial relationship. As a family fiduciary a judge is subject
to the following restrictions:

(1) He should not serve if it is likely that as a fiduciary he will be engaged in
proceedings that would ordinarily come before him, or if the estate, trust, or ward
becomes involved in adversary proceedings in the court on which he serves or one
under its appellate jurisdiction.

(2) While acting as a fiduciary, a judge is subject to the same restrictions on
financial activities that apply to him in his personal capacity.

(E) Arbitration.

A judge should not act as an arbitrator or mediator.

(F) Practice of Law.

A judge should not practice law

(G) Extra-Judicial Appointments.

A judge should not accept appointment to a governmental committee, commission, or
other position that is concerned with issues of fact or policy on matters other than the
improvement of the law, the legal system, or the administration of justice. The foregoing is
subject to any limitations imposed by the Constitution of the Commonwealth with respect to any
such appointment. A judge, however, may represent his country, state, or locality on ceremonial
occasions or in connection with historical, educational, and cultural activities.

A judge may receive compensation and reimbursement of expenses for the quasi-judicial
and extra-judicial activities permitted by this Code, if the source of such payments does not give
the appearance of influencing the judge in his judicial duties or otherwise give the appearance of
impropriety, subject to the following restrictions:

(A) Compensation.

Compensation should not exceed a reasonable amount nor should it exceed what a person
who is not a judge would receive for the same activity.

(B) Expense Reimbursement.

Expense reimbursement should be limited to the actual cost of travel, food, and lodging
reasonably incurred by the judge and, where appropriate to the occasion, by his spouse. Any
payment in excess of such an amount is compensation.

(C) Public Reports.

A judge should report on or before April 15 of each year, with respect to the previous
calendar year, the date, place, and nature of any activity for which he received compensation, and
the name of the payor and the amount of compensation so received. Compensation or income of
a spouse attributed to the judge by operation of a community property law is not extra-judicial
compensation to the judge. His report should be made and should be filed as a public document
in the office of the Administrative Assistant to the Supreme Judicial Court (G.L. c. 211, §3A).

CANON 7

A Judge Should Refrain from Political Activity

(A) Political Conduct in General.

(1) A judge should not:

(a) act as a leader or hold any office in a political organization;

(b) make speeches for a political organization or candidate or publicly
endorse a candidate for public office;

(c) solicit funds for or pay an assessment or make a contribution to a
political organization or candidate, attend political gatherings, or purchase
tickets for political party dinners, for functions conducted to raise money
for incumbents of or for candidates for election to any political office, or
for any other type of political function.

(2) A judge should resign his office when he becomes a candidate either in a
primary or in a general election for elective office. On assuming his judicial
position, a judge shall resign any elective public office he then holds.

(3) A judge may engage in activity in support or on behalf of measures to improve
the law, the legal system, or the administration of justice.

Amended June 7, 1985, effective July 1, 1985.

CANON 8

Compliance with the Code of Judicial Conduct

(A) Retired Judges.

(1) A judge whose name has been placed upon the list of retired judges eligible to
perform judicial duties, pursuant to G.L. c. 32, §§ 65E-65G, should comply with
all provisions of this Code of Judicial Conduct during the term of such eligibility.

(2) A judge who has retired or resigned from judicial office should not perform
court-connected dispute resolution services except on a pro bono publico basis,
enter an appearance, nor accept an appointment to represent any party in any court
of the Commonwealth for a period of six months following the date of retirement,
resignation or most recent service as a retired judge pursuant to G.L. c. 32, §§
65E-65G.

This form is designed to provide the Commission with the information to screen your complaint and to begin an
investigation of your allegations. Please read the accompanying materials on the Commission's function and procedures
before filling out this form. ONLY ONE JUDGE MAY BE COMPLAINED OF ON EACH FORM.

Please describe exactly what the judge did that was misconduct, and on what date(s). YOUR
COMPLAINT WILL BE SCREENED ON THE BASIS OF THIS FORM ONLY. DO NOT RELY
UPON ATTACHMENTS TO MAKE YOUR ALLEGATIONS. (You may attach copies of any
documents which support your allegations, for the purposes of the investigation.)

1. The SJC has since promulgated a revised Code of Judicial Conduct with an effective date of October 1, 2003. Since the prior
version of the Code was in effect during 2002, that version is set out in Appendix C.